Experience

Invest & Fund

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Compliance Officer

  • Jan 2021 - Present

  SMF16 and Head of Compliance for residential property-focused peer to peer lender SMF16 and Head of Compliance for residential property-focused peer to peer lender



Close Brothers

• Financial Services
• 700 & Above Employee

• Head of Compliance Operations

  • Jan 2015 - Oct 2020

  Responsible for developing and implementing Compliance strategy and for managing the Compliance Operations team. Specific focus on: - Functional development and procedural upgrades, such that the Compliance remit is fulfilled in a more efficient and effective way. - Provision of appropriate Compliance support to the business and executive, including in relation to the Senior Manager & Certification Regime and other significant projects, regulatory developments, regulatory policies and training, management information and regulatory returns, management of conflicts of interest, and management of external relationships, including with regulators. - People development, including talent identification and coaching, resourcing matters and driving high performance through effective leadership. - Deputising for the Group Head of Compliance as required. Previous responsibilities included oversight of Compliance Monitoring, chairing the Financial Crime Working Group and SMCR implementation. Show less



THE ROYAL BANK OF SCOTLAND (1727) LIMITED

• United Kingdom
• Banking
• 1 - 100 Employee

• Director, EMEA Compliance

  • Feb 2006 - Jan 2015

  Responsible for managing a team of compliance officers with Western Europe, undertaking regulatory projects on behalf of the whole EMEA region, liaising with regional senior management and managing cross-divisional/Group relationships. Responsible for managing a team of compliance officers with Western Europe, undertaking regulatory projects on behalf of the whole EMEA region, liaising with regional senior management and managing cross-divisional/Group relationships.



Rabobank

• Netherlands
• Banking
• 700 & Above Employee

• Senior Compliance Officer

  • Nov 2004 - Jan 2006

  Advising Relationship Management, Leveraged Finance, Structured Finance and M&A departments on compliance issues, with specific focus on management of conflicts of interest, training and regulatory policies. Advising Relationship Management, Leveraged Finance, Structured Finance and M&A departments on compliance issues, with specific focus on management of conflicts of interest, training and regulatory policies.



Dubai Financial Services Authority

• United Arab Emirates

• Senior Manager , Supervision

  • Jun 2003 - Aug 2004

  Responsible for drafting rules and internal procedures which underpinned the regulation of firms with the Dubai International Financial Centre. Specific focus of development of risk models, an audit regime within the DIFC, internal policies relating to the authorisation and subsequent supervision of firms from High risk jurisdictions, and prudential and conduct of business rules for authorised firms. Responsible for drafting rules and internal procedures which underpinned the regulation of firms with the Dubai International Financial Centre. Specific focus of development of risk models, an audit regime within the DIFC, internal policies relating to the authorisation and subsequent supervision of firms from High risk jurisdictions, and prudential and conduct of business rules for authorised firms.



THE ROYAL BANK OF SCOTLAND (1727) LIMITED

• United Kingdom
• Banking
• 1 - 100 Employee

• Compliance Manager

  • Oct 2001 - Jun 2003

  Provision of advisory compliance support to the corporate bank (including structured finance and private equity businesses, plus the European branch network). Provision of advisory compliance support to the corporate bank (including structured finance and private equity businesses, plus the European branch network).



The Financial Services Authority

• England, United Kingdom

• Associate, Major Financial Groups Division

  • May 1998 - Sep 2001

  Responsible for the prudential and conduct of business supervision of the UK operations of large Japanese financial groups. Responsible for the prudential and conduct of business supervision of the UK operations of large Japanese financial groups.



Bank of England

• United Kingdom
• Banking
• 700 & Above Employee

• Analyst , Supervision and Surveillance

  • Sep 1993 - May 1998

  Responsible for the supervision of South African banks with UK presences, plus analysis of the South African economy and financial system. Responsible for the supervision of South African banks with UK presences, plus analysis of the South African economy and financial system.